I partially trade with a US broker in order to have more access and freedom in my choice of investment vehicles. Making 'complex' funds only freely accessible to the elite and exorbitantly rich (like in the EU), whilst creating more and more hoops for regular people, will only limit opportunities for regular smaller investors. I should have the freedom to do with my own money as I wish
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
Comments: To whom it may concern . My broker keeps me very informed of the risks that ETF holds . Unless you are going to come into the common peoples lives and rule how we manage our private money, whether that is gambling , drinking , excessive buying or saving, then you need to stay out of how I do my own stocks . ETF etc are my right to pick and choose . Not your right to say who or what I
Comments: Active investors are fully aware of the advantages and disadvantages of the instruments they invest in - most seek advice or read up on how they function. Exchange Traded Funds (ETFs) are by no means, whether regular or inverse, complicated in how they move with the indices or stocks they hold. The calculation of leveraged funds is complex; however, investors fully understand how they
Please stop treating smart people like they are stupid. The stupid ones will never look far enough into an investment to make a mistake, or if they do, its their fault. Give the smart ones a chance to make investments that will increase their wealth. My son is worth about $850K - he can't invest in many things that require accreditation. Don't deprive him of the ones he can invest in.
I can make my own decisions, thank you very much. I can limit my exposure by choosing not to purchase, purchase a small amount, or as much as I want. As a former banker, somewhat successful businessman, and a veteran, I believe I understand risk better than any government employee, who enjoys a risk less salary, risk less retirement, risk less employment, risk less tenure and benefits that exceed
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Executive Summary
The NASD® requests comment on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice intended to regulate the anti-dilution provisions of warrants received as underwriting compensation. The amendment would provide
Reminder to NASD Members - Transactions with NASD and American Stock Exchange Employees
NASD members who carry brokerage accounts for NASD, NASDAQ, or American Stock Exchange employees are reminded of the need to promptly implement employees' instructions calling for duplicate statements to be provided to NASD. This requirement is set forth in NASD Rule 3090(a), which provides that "[w
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
(a) Each member organization, shall promptly give to the Exchange notice in writing on such form as may be required by the Exchange (1) on Form U-5, of the death, retirement, or other termination of any party required to be approved under the Rules of the Exchange, (2) of the dissolution of the member organization.
(b) In addition, in the case of a member corporation, such member corporation
